Our Staff has compiled our research into a database of FINRA Broker Disclosures for North Capital Private Securities Corporation. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Travis Neil Allan | 2888016 | 4 | 11/23/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Aj Roennebeck | 7005709 | 1 | 03/01/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Travis Neil Allan | 2888016 | 4 | 08/10/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Travis Neil Allan | 2888016 | 4 | 07/03/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Travis Neil Allan | 2888016 | 4 | 04/27/2009 | Customer Dispute | Denied | $133,576.00 | $0.00 | See FINRA Report |
| Richard Paul Silva | 2091006 | 1 | 05/27/1997 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| James Meigs Rauh | 371488 | 1 | 03/24/1983 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |